Customer Service Compliance Specialist

Compliance Specialist (High Risk Accounts Approval)

Phone: +971********* (UAE), 017******** (Bangladesh) Address: 2517, Al Buhaira Building,

Al Nahda, Sharjah, United Arab Emirates

Email: ********@*****.***

Mohammad Jahir Uddin Bhuiyan, CAMS

To seek a responsible position with an opportunity for professional challenges at AML and Compliance department in a major and reputed Bank or Financial Organization to use my skills in the best possible way for achieving the company`s goals and as well as the personal growth.

EXPERIENCE

Emirates NBD Bank

Compliance Specialist (High Risk Accounts Approval) August 10, 2022- Present

Identifying, verifying, documenting and escalating the irregularities based on gap analysis conducted on all available legal documentation for internal verification and remediation to High Risk Accounts final approval. Responsible for the pre on boarding reviews of the high risk accounts, carrying out the enhanced due diligence activities and customer screening to protect and mitigate the Compliance and Sanctions related risks for the Retail Bank. Review of the OWC delisting activity and assist Business units in getting GC approvals. Review of account opening documentation to identify the account structure and identify verify the customers as required. Checking EDD profiles for completeness and verification to determine plausibility based on the information provided or any inconsistency detected.

Apply a risk based approach while conducting account reviews, conduct necessary enhanced due diligence to be in line with the Banks policies procedures and guidelines.

With regards to PEP accounts preparation of submission packs for senior management approvals. Conducting onboarding migrations and periodic reviews as required by the policy. Conducting onboarding EDD reviews of investment accounts. Conducting onboarding EDD reviews of corporate accounts. First Abu Dhabi Bank (FAB), Abu Dhabi, UAE

FCC Case Investigations

January 10, 2021 - August 05, 2022

Perform a role as a FCC case Investigator in the FCC Case team. Perform duties such as Transaction Monitoring, Global Name Screening, Internal List Management, Media Monitoring/Screening, Alert/Risk Event Investigation and investigation. Support and guide relevant stakeholders to make decisions based on current and possible future policies, practices, and trends.

Conduct UAT testing if required for introducing new scenario in Alerts Management System. Ensure timely reporting and escalation of significant AML/CFT risk issues to MLRO Team. Coordinate with the relevant operations units to ensure that the relevant lists and database used in screening, transaction monitoring and investigation are up to date and relevant, so that effective escalation of issues is achieved and risk managed. Ensure the suitability and quality of case data maintained on enterprise case management systems. Ensure quality assurance is in place on transaction monitoring and customer name screening. Provide advice and support to the Bank’s business units on the identification of areas of risk as a result of transaction monitoring trends.

Attend to and action requests from Correspondent Banks, Central Bank, Police, Regulators and Government Departments whenever required.

Support MLRO Team with any complex investigations as required. Day to day processing of Transaction Monitoring (TM) and Name Screening (NS) cases in line with prescribed procedures and in a timely manner within agreed TAT’s whilst maintaining Quality Control/Quality Assurance results in line with Group and local expectations.

Ensure timely initiation of any follow up actions to effectively process alerts in TM and NS with clear narratives. Reporting Internal SAR’s for cases escalated through FCC screening or transaction monitoring processes to MLRO. UAE Exchange, Dubai, UAE

Cluster Compliance Office (AML & CFT)

April 12, 2012 - November 24, 2020

Act as a Cluster Compliance Office (AML & CFT) for seven different business profile branches. Implement & execute the Regulations issued by the Central Bank of UAE and the Compliance Program of “The Company” at the Branch level.

Collaborate with internal/external auditors and CB examiners. Maintain oversight on the customer on-boarding and periodic review of the customers. Responsible in analyzing alerts generated by transaction monitoring system as well as other non-automated cases with financial crime or money laundering concern; and its follow up actions. Ensure suspicious transactions are thoroughly investigated and file ISTR (if required) to Head of Compliance for review and decision.

Perform more extensive due diligence for high risk amounts/ countries/ customers including proactive monitoring for suspicious activities.

Educate the staff in the respective branches regarding AML and CTF matters and this Compliance Manual Coordinate AML audits at the branch level.

Manage and respond timely to the enquiries initiated by the AML-Compliance Department. Develop and conduct AML/CFT training programs regularly considering all relevant risks of ML/FT and financing illicit organizations including the ways/means for addressing them. Performing the due diligence on new Clients, requesting the KYC information, documentation, review and verification of received documentation and making an analytical risk assessment for new Clients. Periodical review of KYC records as to completeness, including verifying that due diligence has been performed and that CBC

(due diligence) standards are complied with; also that the files and risk assessments are current and up to date. Investigating high risk clients and reporting where necessary, including Politically Exposed Persons, and obtaining all necessary documentation to complete the client file. Perform further investigation on identified suspicious client and client’s transactions and report to Chief compliance officer. EDUCATION

Stamford University Bangladesh

Bachelor of Arts in English

2004 - 2008

Major in English Literature

Obtain CGPA 2.87 out of 4

CERTIFICATIONS

CAMS

ACAMS (Association of Certified Anti-Money Laundering Specialists) Dec 2021

SPECIALIZATION

Fields of Specialization

KYC

CDD & EDD

PEPs screening

High risk & Sanctions screening

Transaction Monitoring

ISTR

Compliance Management

Customer Service

Team working

Trainer

TRAINING SUMMARY

Internal Compliance Certification Program

Risk & Regulatory Compliance

Duration: 1 day

Conducted by: UAE Exchange

Financial Crime Compliance Course

AML & CTF, TBML, SAR & Transaction monitoring, Sanctions, Anti Bribery & Anti Corruption, CDD & PEPs Duration: 48 hours

Conducted by: Visionary mindset

Information Security Awareness Training

Email security, Cyber Crime & security

Duration: 1 day

Conducted by: UAE Exchange

Information Security

Importance of Data Security

Duration: 1 day

Conducted by: Thomson Reuters Risk Management Solutions Anti Bribery and Anti Corruption (Global)

Ways of ABC & Prevention

Duration: 1 day

Conducted by: Thomson Reuters Risk Management Solutions Financial Crime

Ways of Financial Crime & Prevention

Duration: 1 day

Conducted by: Thomson Reuters Risk Management Solutions Fraud Prevention (Global)

Ways of Fraud Prevention

Duration: 1 day

Conducted by: Thomson Reuters Risk Management Solutions AML(Anti Money Laundering) Training

AML & CTF

Duration: 1 day

Conducted by: UAE Exchange

AML Corporate Training

Trade Base Money Laundering (TBML)

Duration: 1 day

Conducted by: UAE Exchange

LANGUAGES

Bengali (Native), English (Full professional proficiency), Hindi (Professional working proficiency) PERSONAL DETAILS

Father's Name: Md Mofiz Uddin Bhuiyan

Mother's Name: Ms Rokeya Begum

Date of Birth: 20th December 1983

Gender: Male

Marital Status: Married

Nationality: Bangladeshi

Religion: Islam

Native Address: Post Office: Village: Shahapur, East Shahapur, Barura, Cumilla 3510, Bangladesh RECOMMENDATIONS

Farhan Riaz

Manager Governance- High Risk Accounts approval unit Emirates NBD

RBWM – Governance Department

P Building – 3rd floor, Meydan, Dubai

United Arab Emirates

Contact no: +971-*********, +971 (0) 4 609 4267

Email: *******@***********.***

Guruprasad K

VP- AML Monitoring

First Abu Dhabi Bank

One FAB Tower, Khalifa Road, Abu Dhabi,

United Arab Emirates

Contact no: +971*********, +971-*-*******

Email: **********.*@*******.***

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